Compliance officer

  • Location

    USA-NJ-Jersey City

  • Compensation

    75K

  • Position Type

    Employee

  • Employment type

    Full time

  • Updated

    16 May 2008

  • eFC Ref no

    277663
Compliance officer
In Hoboken, NJ

3-5 yrs of Compliance Surveillance expereince.
  • Review, detect, monitor and examine firm's daily trading activities to identify possible violations of regulatory requirements and firm policies
  • Research and respond to regulatory inquires on behalf of NASD and NYSE (‘SGES’) member firm
  • Responsibilities include reviewing & analyzing approximately 500,000 daily trades to detect any regulatory issues with regard to allocations, crossing trades, short sales, aggregation and best execution
  • Conduct compliance reviews of business groups to detect weaknesses and implement corrective actions
  • Review sales pursuant to S3 filings / prospectus requirements
  • Review Pink Sheet Transactions for Compliance and daily submissions and repairs, if warranted, of OATS
  • Review CRD for proper filings with regard to BD amendments, U4 and U5 filings and CE requirements
  • Review account forms for Compliance with applicable laws and rules, e.g. Bank Secrecy, Patriot ACT, KYC
  • Assist in the preparation and analysis of materials to be reviewed by the Director of Compliance
  • Monitor and surveillance of employee personal transactions to ensure compliance
  • Monitor Internet mail and IM messages for compliance
  • Assist in preparing and updating policies and procedure manuals
  • Oversight of over 1500 registered reps in 36 OSJ offices

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